Advertising Compliance Analyst with FINRA Licenses

Job Summary

Supporting marketing initiatives for financial professionals, the full-time Advertising Compliance Analyst with FINRA Licenses will review communications and marketing materials to ensure compliance with regulatory standards, while working remotely or from preferred locations in Austin, TX or Phoenix, AZ.

Key responsibilities

• Review sales literature and marketing materials, providing compliance solutions to align content with regulations
• Develop and maintain controls, procedures, and records in accordance with FINRA, SEC, and state regulations
• Assist in training internal teams on advertising processes and collaborate with various stakeholders to ensure compliance

Required qualifications

• Bachelor's Degree preferred
• Minimum 5 years of industry experience
• FINRA Series 7 and Series 24 Licenses required
• Strong understanding of SEC Marketing Rule requirements and FINRA advertising regulations
• Experience in a dual-registrant environment (broker-dealer and RIA)